Senior Compliance / Supervision Principal

Senior Compliance / Supervision Principal

Fully Remote — Up to $100K + Bonus

A respected national financial services organization is seeking an experienced Senior Compliance or Supervision professional to join its Home Office team.

This is an outstanding opportunity for someone with strong Broker-Dealer supervision experience who wants increased visibility, leadership responsibilities, and long-term career growth within a highly collaborative organization.

Responsibilities

• Supervise Financial Advisors and Investment Advisor Representatives
• Review new business, trades, annuities, alternative investments, and advisor communications
• Resolve escalated compliance and supervisory matters
• Partner with advisors on regulatory guidance and risk management
• Prepare responses to regulatory inquiries
• Mentor and train members of the supervision team
• Help drive consistency across supervision processes and advisor support

Qualifications

• 6+ years in Broker-Dealer Supervision, Compliance, Surveillance, or Risk Management
• Current Series 7 and Series 24 (or 9/10)
• Series 66 (or 63/65)
• Strong understanding of FINRA, SEC, and RIA regulations
• Experience working directly with Financial Advisors
• Excellent written and verbal communication skills

Why This Opportunity?

• Fully Remote
• Newly created role
• Leadership visibility
• Individual contributor with mentoring responsibilities
• Collaborative culture
• Excellent long-term career growth

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status.

If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com